Industry


The OSC SME Institute
Calendar of Seminars/Webinars


The OSC SME Institute offers a series of free educational seminars/webinars to small and medium enterprises (SMEs) to help them understand the securities regulatory requirements for being or becoming a public company in Ontario.

Upcoming Webinars

Date: Wednesday, November 30, 2016
Time: 1:30pm – 3:00pm

Webinar Registration Link:

Register for webinar

A link to an archived replay of the webinar will be available here after the conclusion of the session.
Description:

This seminar is designed to provide mining issuers with the essential “rules of the road” to keep their public reporting on track and in compliance with the requirements of NI 43-101 and NI 51-102. Participants will have the opportunity to hear directly from the regulator about common disclosure pitfalls and challenges.

Topics covered will include:

  • Fundamental concepts
  • Disclosure from exploration to production
  • Technical reports and common pitfalls
  • Website disclosure hazards
  • MD&A disclosure
Who To Attend:
  • CEOs or CFOs
  • Qualified persons
  • Investor relation individuals
  • Legal counsel
Why You Should Attend:
  • To learn more about NI 43-101 from OSC mining experts
  • To understand what OSC staff look for when reviewing technical and M&DA disclosure
  • To improve technical disclosures from practical examples

Date: Wednesday, December 14, 2016
Time: 1:30pm – 3:30pm

Webinar Registration Link:



A link to an archived replay of the webinar will be available here after the conclusion of the session.
Description:

The seminar will include the review of obligations under NI 51-102, including various MD&A observations, with a focus on non-GAAP financial measures. The seminar will also cover other continuous disclosure requirements, including executive compensation, disclosure standards under NP 51-201, administrative procedures (including MCTO/CTO), and will highlight upcoming trends and other relevant topics.

Who To Attend:
  • CFOs
  • Preparers of financial statements and MD&A
  • In-house or external legal counsel
  • Advisors to companies
Why You Should Attend:
  • To understand important ongoing securities requirements in order to prepare quality CD documents
  • To be aware of common filing deficiencies so you can avoid them
  • To hear directly from OSC staff of best practices for working with the OSC on ongoing filing issues
  • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

Date: Wednesday, January 25, 2017
Time: 1:30pm – 3:30pm

Webinar Registration Link:

Register for webinar

A link to an archived replay of the webinar will be available here after the conclusion of the session.
Description:

The seminar will discuss the differences between raising money in the public market versus the exempt market. On the exempt market side, we will discuss five capital raising prospectus exemptions that have been created or revised to address the capital raising needs of small to medium sized enterprises at different stages of development. We will also discuss tips for completing and filing the new Form 45-106F1 Report of Exempt Distribution which came into force on June 30, 2016. On the public side, we will examine the requirements for when you become a public company, the roles of the parties involved in the offering process, and the ongoing requirements following your IPO.

Who To Attend:
  • CEOs and CFOs
  • Directors
  • Legal counsel and other advisors
Why You Should Attend:
  • To learn about the options available for raising money in Ontario's public and private markets, and the new prospectus exemptions available
  • To obtain guidance on the specific process and requirements for raising capital
  • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

Date: Wednesday, February 22, 2017
Time: 1:30pm – 3:30pm

Webinar Registration Link:

Register for webinar

A link to an archived replay of the webinar will be available here after the conclusion of the session.
Description:

This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

Who To Attend:
  • Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.
Why You Should Attend:
  • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI).
  • To understand the common issues noted by OSC staff when reviewing insider reports.
  • To gain a better understanding of SEDI and how to navigate the system.

Past seminars

Below you will find a list of seminars that took place during last years session.


Date: Wednesday, February 24, 2016
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
Description: This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.
Who To Attend:

Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.

Why You Should Attend:
  • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI)
  • To understand the common issues noted by OSC staff when reviewing insider reports
  • To gain a better understanding of SEDI and how to navigate the system
Presentation Documents: Slides: Insider Reporting and SEDI





Date: Thursday, January 21, 2016
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
Description: The seminar will discuss securities regulatory issues for small and medium-sized companies looking to raise capital in the public and private markets. We will examine key requirements for public offerings and private placements, including information about new capital raising prospectus exemptions.
Who To Attend:
  • CEOs and CFOs
  • Directors
  • Legal counsel and other advisors
Why You Should Attend:
  • To learn the options available for raising money in Ontario's capital markets
  • To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process
  • To understand the differences between public versus private financing options
  • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements
Presentation Documents: Slides: Raising Money in the Capital Markets





Date: Tuesday, December 15, 2015
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
Description:

This seminar will include the review of obligations under NI 51-102 Continuous Disclosure Obligations, including MD&A and financial statement observations, venture issuer regulation, procedural information on MCTO/CTO, defaults and revocation of cease trade orders, gender diversity, fees, and other relevant topics.

Who To Attend:
  • CFOs
  • Advisors to companies
  • Preparers of financial statements & MD&A
  • In-house or external legal counsel
Why You Should Attend:
  • To understand the important ongoing securities requirements
  • To be aware of common filing deficiencies so you can avoid them
  • To hear directly from OSC staff on best practices for engaging with staff on ongoing filing issues
  • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements
Presentation Documents:




Date: Wednesday, November 25, 2015
Time: 10:00 a.m - 11:30 a.m.
Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
Description:

This seminar will assist mining participants with improving their technical disclosure and provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges. Findings from recent Staff Notices (CSA Staff Notice 43-309 Review of Website Investor Presentations by Mining Issuers and OSC Staff Notice 51-722 Report on a Review of Mining Issuers' Management's Discussion and Analysis and Guidance) will also be discussed. Topics covered will include:

  • Overview of NI 43-101 Standards of Disclosure for Mineral Projects
  • Common disclosure pitfalls and practical guidance
  • Technical reports and how to improve disclosure
  • MD&A best practice tips
  • Website disclosure hazards
Who To Attend:
  • CEOs or CFOs
  • Qualified persons
  • Investor relation individuals
  • Preparers of technical disclosures
  • Legal counsel
Why You Should Attend:
  • To learn more about NI 43-101 from OSC mining experts
  • To understand what OSC staff look for when reviewing technical disclosures
  • To improve technical disclosures using practical examples
Presentation Documents:




Date: Thursday, July 9, 2015
Time: 10:30 a.m. - 11:30 a.m.
Location: OSC 22nd floor Meeting Room
Description:

This seminar will introduce the recent amendments to the regulatory requirements for venture issuers. Topics discussed will include:

  • The motivation for the amendments
  • What is changing:
    • MD&A
    • Business acquisition reporting
    • Prospectus disclosure
    • Executive compensation disclosure
    • Audit committee requirements
  • Expectations under the new requirements

The goal of the seminar is to help issuers, advisors, and investors better understand the new rules for venture issuers.

Who To Attend:
  • Venture issuers
  • Advisors
  • Investors
Why You Should Attend:
  • To learn more about the new rules for venture issuers
  • To understand expectations under the new rules
Presentation Documents:




Date: Wednesday, February 11, 2015
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: Staff will discuss key issues relating to the calculation and filing of the participation fees. There will also be a discussion on the proposed changes to OSC Rule 13-502 Fees. This seminar is designed to assist issuers with the calculation of participation fees under OSC Rule 13-502 Fees.
Who To Attend: Individuals responsible for the preparation, review and filing of OSC Form 13-502F1, OSC Form 13-502F2, OSC Form 13-502F2A, OSC Form 13-502F3A, OSC Form 13-502F3B, and OSC Form 13-502F3C
Why You Should Attend:
  • To learn more about OSC Rule 13-502
  • To understand what OSC staff look for when reviewing the fee forms
Presentation Documents:




Date: Wednesday, January 21, 2015
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: The seminar will discuss securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.
Who To Attend:
  • CEOs & CFOs
  • Directors
  • Legal counsel and other advisors
Why You Should Attend:
  • To learn the options available for raising money in Ontario's capital markets
  • To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process
  • To understand the differences between public versus private financing options
  • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company
Presentation Documents:




Date: Wednesday, December 10, 2014
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: This seminar will include the review of obligations under NI 51-102, including MD&A observations, material change reporting, related party transactions, information on emerging market issues and other relevant topics.
Who To Attend:
  • CFOs
  • Advisors to companies
  • Preparers of financial statements
  • In-house or external legal counsel
Why You Should Attend:
  • To understand the important ongoing securities requirements
  • To be aware of common filing deficiencies so you can avoid them
  • To hear directly from OSC staff best practices for working with the OSC on ongoing filing issues
  • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company
Presentation Documents:




Date: Wednesday, November 12, 2014
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: This seminar is designed to assist mining participants with improving their public technical disclosure and to provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges through the use of case studies and examples of good disclosure practices and guidance. Findings from recent OSC Staff Notices (OSC Staff Notice 43-705 on technical reports and OSC Staff Notice 51-722 on MD&A) will be discussed as well as an overview of website disclosure, use of social media, and tips on prospectus filings. Topics covered will include:
  • Overview of NI 43-101
  • Common disclosure pitfalls and practical guidance
  • Technical reports and how to improve disclosure
  • MD&A best practice tips
  • Website technical disclosure hazards
  • Prospectus filings and technical reporting
The goal of the seminar is to help mining issuers avoid the common pitfalls and hazards and improve their public technical disclosure.
Presentation Documents:




Date: Wednesday, February 12, 2014
Description: This seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.
Presentation Documents:




Date: Tuesday, January 21, 2014
Description: This seminar provided a review of obligations under NI 51-102, including MD&A best practices, forward looking information and related party transactions plus other other current topics, including non-GAAP measures, operating segments, cash flow statements.
Presentation Documents:




Date: Monday, December 9, 2013
Description: This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered will include an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session is intended to assist issuers with improving their technical disclosure.
Presentation Documents:




Date: Wednesday, June 5, 2013
Description: This seminar provided an overview of the obligations of MD&A obligations as set out in NI51-102F1, including common deficiencies, examples of entity specific disclosure, and effective writing tips. A securities analyst was among our team of speakers at this session.
Presentation Documents:




Date: Tuesday, May 28, 2013
Description: This seminar discussed five special continuous disclosure topics: (1) impairment; (2) segment disclosures; (3) forward looking information; (4) cash flow information; and (5) operating in emerging markets. We examined common deficiencies, provided disclosure examples and discussed common red flags. We also reviewed corporate governance and disclosure best practices highlighted in OSC Staff Notice 51-720 Issuer Guide for Companies Operating in Emerging Markets, and how these best practices can be applied to small and medium enterprises.
Presentation Documents:




Date: Tuesday, February 5, 2013
Description: This seminar provided an overview of the aspects of public company securities requirements in Canada relevant to Directors, including: filing requirements and deadlines, NI 58-101 Disclosure of Corporate Governance, NI 52-110 Audit Committees, NP 58-201 Corporate Governance Guidelines, insider reporting, selective disclosure, and forward looking information.
Presentation Documents:




Date: Thursday, January 24, 2013
Description: This seminar provided practical guidance to assist you in preparing your executive compensation and corporate governance disclosures in your annual information circular.
Presentation Documents:




Date: Tuesday, January 22, 2013
Description: This seminar discussed those securities legislation and Canadian Auditing and Other Standards most relevant to the audit and review of small and medium public enterprises. We examined where we have observed common issues, and provided examples of best practices. A representative from CPAB was among our team of speakers at this session.
Presentation Documents:




Dates: December 4, 2012 Financial Services, Retail and Manufacturing
December 5, 2012 Mining (Session A) (Note: Sessions A and B covered the same content.)
December 6, 2012 Technology/Communications
January 17, 2013 Mining (Session B) (Note: Sessions A and B covered the same content.)
Description: The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.
Presentation Documents:




Date: Thursday, November 15, 2012
Description: The seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We examined key requirements for both public offerings and private placements.
Presentation Documents:




Date: Tuesday, October 23, 2012
Description: This seminar provided an introduction to the requirements in the various prospectus rules, and an overview of our review process, including a discussion of some of the common issues and frequently asked questions.
Presentation Documents:




Date: Wednesday, October 17, 2012
Description: This seminar included the review of obligations under NI 51-102, including: annual and interim filings and due dates; filing requirements for material contracts and material change reports; BAR requirements; forward looking information; and insider filing obligations.
Presentation Documents:




Dates: September 25, 2012 (Session A)
November 6, 2012 (Session B)
(Note: Sessions A and B covered the same content.)
Description: This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered included an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session was intended to assist issuers with improving their technical disclosure.
Presentation Documents:




Date: September 18, 2012
Description: This seminar discussed two special continuous disclosure hot topics: (1) risk oversight and disclosure; and (2) the importance of cash flow information in financial reporting. We examined common disclosure deficiencies, provided guidance for boards on the effective oversight of risks, and discussed common red flags that can be identified from cash flow information.
Presentation Documents: